Daniel M. Gaugert

CAPITAL ADVISERS

Raleigh, NC 27609

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CRD#: 2167221

Professional summary

Daniel Mark Gaugert, ChFC®, CLU®, who also goes by Dan Gaugert, is a registered financial advisor currently at CAPITAL ADVISERS, INC. located in Raleigh, North Carolina.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Daniel has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Gaugert

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. GAUGERT FINANCIAL, INSURANCE AGENT PROVIDING INSURANCE SERVICE & SALES. SPEND APPROX 60 HRS/MO ON SUCH ACTIVITY, 75% DURING NORMAL TRADING HOURS. SAME ADDRESS AS OFFICE OF EMPLOYMENT ADDRESS. INVESTMENT RELATED BUSINESS PER FINRA DEFINITION. BEGUN IN 1991. 2. SINGER. SINGER WITH VARIOUS ORGANIZATIONS. STARTED 5/2019. 10 HRS/MONTH, 0 DURING NORMAL TRADING HOURS. NOT INVESTMENT RELATED. 3. NC MASTER CHORALE. MEMBER OF BOARD OF DIRECTORS. POSITION ADDED 7/2022. PO BOX 562 RALEIGH, NC 27602. 1 HR/WK, 1 DURING NORMAL TRADING HRS. NO COMPENSATION. NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Mark Gaugert's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

August 28, 2024 - Present

CAPITAL ADVISERS, INC.

Office #1: 100 East Six Forks Road, Suite 250, Raleigh, NC 27609

RIA

CRD#: 118442

Raleigh, NC

Past

January 2, 2013 - August 19, 2024

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 149124

RALEIGH, NC

Past

April 25, 2006 - December 31, 2012

CIC ADVISERS, LLC

RIA

CRD#: 130735

RALEIGH, NC

Past

December 15, 1995 - August 19, 2024

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

RALEIGH,, NC

Past

September 30, 1991 - December 15, 1995

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL ADVISERS, INC.

CRD#: 118442 / SEC#: 801-63487

RIA

Registered Investment Advisory firm - (9/3/2004 Approved)

North Carolina

Registered Investment Advisory firm - (1/7/2013 Terminated)

South Carolina

Registered Investment Advisory firm - (8/4/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(8/28/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/22/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/27/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/20/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/27/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAPITAL ADVISERS, INC.

CRD#: 118442 / SEC#: 801-63487

RIA

Registered Investment Advisory firm - (9/3/2004 Approved)

North Carolina

Registered Investment Advisory firm - (1/7/2013 Terminated)

South Carolina

Registered Investment Advisory firm - (8/4/2004 Terminated)

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Contact information

Main Address

100 East Six Forks Road, Suite 250, Raleigh, NC 27609

Mailing Address

Phone number

(919) 865-1930

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL ADVISERS, INC., ADV, BROCHURE, AND SUPPLEMENT, UPDATED JANUARY 31, 2025 (3/31/2025)

CAPITAL ADVISERS, INC., ADV, THE BROCHURE AND SUPPLEMENT, UPDATED JANUARY 31, 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,451
AUM (Assets Under Management)	$ 503,514,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Daniel M. Gaugert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Mark Gaugert's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

CIC ADVISERS, LLC

CAPITAL INVESTMENT GROUP, INC.

1717 CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

CAPITAL ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/2001

Series 63

Date: 9/27/1991

SIE

Date: 10/1/2018

Series 7

Date: 3/20/2001

Series 6

Date: 9/27/1991

Current Firm

CAPITAL ADVISERS, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL ADVISERS, INC.

TRUST BUT VERIFY

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